Project leader: Richard Morton Lead Editor: Jalal Benhayoun Core Principles for the operation of Single Window “Single Window is an environment and a change management project, not an IT Project” Project leader: Richard Morton Lead Editor: Jalal Benhayoun

Core Principles for the operation of Single Window Heads of delegation support was obtained to initiate the project Morocco, Senegal, Ukraine Purpose: To develop a recommendation and guidelines for designing and implementing resilient SW. Where SW failure could potentially endanger the operation of the whole economy of country To provide a basis for designing strategies, identifying strengths and weakness and enhancing policies related to strengthening the resilience of SW.

Core Principles - Deliverables PROJECT DELIVERABLES Recommendation Guidelines Repository of case studies

Key Consideration: Dysfunction Current Status of Core Principles Initial Drafting - Core Elements Experts Group Meeting - UNCEFACT Forum S.W Domain 27-31st March, Geneva - UNCEFACT Forum S.W Domain, 2-6 October, Rome Subsequent Conference Calls - Dates to be confirmed “The core principles will be intentionally broad enough to apply to a wide range of circumstances in different environments and to have a lasting utility.” Key Consideration: Dysfunction

Four Core Single Window Risks Risk of dysfunction: the risk that an actor within the system is unable to offer part or all of the service provided in the context of its exchanges with the single window. Implied Regulatory risk: the risk that a new regulatory mechanism (national or international) will cause or increase the risk of dysfunction. Including existing and future regulations. Operational risk: the risk that operational factors such as technical failures or operational errors will cause or increase the risk of dysfunction. Systemic risk: in the context single window system, the risk within an actor's inability to face his obligations, or a dysfunction of his system, generates in a total blockage of all foreign trade operations at the single window. Liability risk: including financial, scalability, governance including PPPs, in case of failure.

A well-defined legal basis Core Principles A well-defined legal basis The jurisdiction under which the rules and procedures of the system are to be interpreted should be specified. Where the system includes cross-border elements such as foreign exchange of documents, identify significant legal risks from other relevant jurisdictions Clear understanding of the impact of SW on stakeholders Stakeholders, the system operator and other involved parties, including clients, need to clearly understand the various risks in the system and where they are borne. Should consider monitoring, who is authoried and their level of entry.

A clear and effective basis of procedures and rules Core Principles A clear and effective basis of procedures and rules The basis of procedures and rules must be established with the participation of all stakeholders. Clearly defined responsibilities of the operator of the SW A balance between the ability to make changes and the ability to lock information Rules should be revised on a regular basis and make use of recommendation 40 on consultations

The Single Window need to have significant scalability Core Principles The Single Window need to have significant scalability SW is experiencing permanent changes dictated by national and international political guidelines A Business Continuity Plan is a primary key for managing a Single Window It should mitigate the impact of operational and systemic risk on the overall international trade activity of the country

Core Principles Integration of the security component into the life cycle of a Single Window Identification, assessment and treatment of risks on the regular base. All actors must be able to trace any event affecting or likely to affect the availability, integrity, confidentiality or traceability of an entity interacting with the SW A security incident that reaches the information system belonging to a partner must be isolated and must not, under any circumstances, infect the Single Window.

Core Principles Integration of the security component into the life cycle of a Single Window (continued) The responsible entity for the management and supervision of a Single Window shall: Adopt a scope for the implementation of safety standards; Implementing a common identity management system; Provide strong authentication tools for single- window access; Provide tools for security oversight and integrity of the single window.

Core Principles Responsible, efficient and transparent single window governance Single-window governance procedures cover all the relationships between the management of the system, its board of directors and the various stakeholders A structure that allows to set global objectives of the system, define how they are realised as well as to allow evaluation of the performances SW is likely to exert a direct influence on the international trade community, thus there is a particular need for an effective, accountable and transparent governance regime Effective and transparent governance enables the achievement of objectives in line with the expectations of all actors in the foreign trade community This ensures that the management of the SW has the appropriate tools and competences to achieve the objectives set

Objective, published and fair access criteria Core Principles Objective, published and fair access criteria Single Window should have objective and transparent accession criteria for equitable and open access. Criteria should encourage competition between stakeholders and enable low-cost business operations to be carried out Rules of access restrictions must be objective and based on appropriate risk criteria and accessible by all actors

Ensure a delicate balance between cost, quality, safety and efficiency Core Principles Ensure a delicate balance between cost, quality, safety and efficiency ultimate interest of the various actors linked to a single window is to carry out the operations with the lowest possible cost while guaranteeing high requirements in terms of optimization, quality and safety compromise is normally required between this desire to minimize costs and other objectives such as the increase the level of security The design and operation of the Single Window should allow it to adapt to changes in foreign trade procedures and expectations at the national and international levels choices made in terms of technology, business orientation and governance should be flexible enough to evolve in parallel with demand.

richard.morton@ipcsa.international QUESTIONS ? For more information or to participate in the “Core principles for the operation of Single Window project” http://www.unece.org/cefact http://tfig.unece.org/ Contact: Richard Morton richard.morton@ipcsa.international